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Ashley Daughtry profile image

Ashley Daughtry

Associate Principal Examiner at <span class="not-italic font-text_font lg:text-[18px] text-[16px] font-bold claimed">FINRA</span>
Intro Book
Regulatory compliance expert with experience in risk management and operations.
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Location
Baltimore, Maryland, United States, US
Languages
  • Spanish -
Skills
  • Microsoft Office
  • Critical Thinking
  • Time Management
  • Document Preparation
  • Statistical Data Analysis
  • Show all
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Bio

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Ashley Daughtry is a seasoned professional with 2+ years of experience in regulatory compliance, risk management, and operations. She holds a Bachelor of Arts degree in Government and Public Policy from the University of Baltimore and certifications from FINRA. Ashley has worked in various roles, including Associate Principal Examiner at FINRA, Director of Operations Risk and Regulatory Control at Morgan Stanley, and Analyst at the City of Baltimore.

Credentials

  • Securities Industry Essentials (SIE)
    FINRA
  • Series 99
    FINRA

Experience

  • FINRA
    • Associate Principal Examiner
      • Feb 2022 - Present
  • Morgan Stanley
    • Baltimore, Maryland, United States
    • Director, Operations Risk and Regulatory Control
      • Jan 2021 - Feb 2022
      • Baltimore, Maryland, United States
  • City of Baltimore
    • Analyst, Bureau of Budget and Management Research
      • Dec 2019 - Jan 2021
  • FINRA
    • Senior Trade Analyst, Market Regulation
      • Apr 2019 - Dec 2019
  • Morgan Stanley
    • United States
    • Financial Services
    • 700 & Above Employee
    • Client Service Associate, Wealth Management
      • Mar 2017 - Apr 2019

    • Fraud Prevention Analyst, Firmwide Operations
      • Jan 2016 - Mar 2017

    • Derivatives Trading Analyst, Institutional Securities Group
      • Jun 2014 - Jan 2016

  • Entertainment Consulting International, LLC
    • Baltimore, MD
    • Administative Assistant Intern/Co-op
      • Oct 2012 - Jun 2014
      • Baltimore, MD

      • Provided initial analyses of legal research • Designed and implemented an excel based decision support system• Managed multiple state audits successfully avoiding costly penalties• Drafted informational memorandums for companywide distribution • Consistently prioritized projects in a manner tha...

  • Maryland Office of the Attorney General -Thurgo...
    • Baltimore, MD
    • Mediation Intern/Co-op
      • Jan 2012 - May 2012
      • Baltimore, MD

      • Analyzed, addressed, and managed conflict effectively and in a confidential manor• Addressed consumer complaints in compliance with local, state, and federal laws• Provided administrative support by mediating and negotiating consumer complaints• Collaborated with others to form effective soluti...

Education

  • 2012 - 2014
    University of Baltimore
  • 2010 - 2012
    Howard Community College

Suggested Services

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Industry Focus. “Financial Services”

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